determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
information as described in the application form and supporting documents. The process may include, but not limited to, confirm with a foreign audit oversight authority and/or professional body that the
documents. The process may include, but not limited to, confirm with a foreign audit oversight authority and/or professional body that the applicant has registered with about the qualifications of the